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FRAMEWORK FOR IMPROVING END-USE AND END-USER CONTROL SYSTEMS

Brian Wood and Peter Danssaert International Peace Information Service Vienna 20 April 2015 Based on Extracts from an Occasional Paper researched and written by the authors for the United Nations Offjce for Disarmament Affairs, 2011

% of Reporting States Implementing Transfer Controls on SALW 2001- 2011

Africa Americas Asia Europe Oceania Export controls 67% 86% 85% 100% 83% EUCs 10% 39% 35% 93% 50% Import controls 84% 96% 91% 73% 83% Transit controls 41% 68% 56% 83% 100% Illegal trade a criminal

• ffence

22% 61% 50% 76% 67% Source: UNIDIR Report on the UNPOA 2012

uconcepts, documents and procedures relating

to the regulation of end use and end users of conventional arms

upolitical and practical obstacles to the

development of an international framework for authentication, reconciliation and standardization of end-user certifjcates

Focus of the UNODA Study 2010-11

End-use/user certifjcates can too easily be:

u Forged or falsifjed u Obtained from corrupt offjcials u Misused by arms brokers or undeclared

agents

u Unchecked by export authorities u Disconnected from delivery verifjcation u Breached when end users re-transfer arms u Not used to assess risks of unsafe

transport, storage and management of the arms

Systemic Problems Reported

u “end-use certifjcate” and “end-user certifjcate” (offjcially

certifjed)

u “end-use statement” (private commercial entity) u “private end-user certifjcate” versus “offjcial end-user

certifjcate”

u “end-user undertaking” u “end-use assurance” and “end use guarantee”

Documents that supplement EUCs:

u Import authorisations, commercial contracts

Names of End Use/User Documents

The OSCE and Wassenaar standards generally require:

u the date of issue, preferably accompanied by a register

number and the expiry date

u a detailed description (type, quantity, characteristics) of the

SALW or technology related to the design, production, testing and upgrading of arms to be exported;

u contract number or order reference and date; u fjnal destination country; u description of the end use of the arms (for example, use by the

armed forces or internal security forces);

u exporter’s details, at least name, address and business name; u end-user information, specifjcally, name, position, full address

and original signature;

OSCE and Wassenaar - Standard Elements for end-use certifjcates

u assurances that the arms will be used only by the end user

and for the stated end use;

u assurances that re-export of imported arms can take place

• nly after receiving a written authorization from the

exporting country unless the exporting country decides to transfer that authority to the export licensing authorities of the importing country;

u information on other parties (intermediate consignees/

purchasers) involved in the transaction, as appropriate, including, name, title and original signature of any consignee

• r information on the intermediate consignee and purchaser

might be provided in writing during the authorizing procedure;

u Certifjcation by the relevant Government authorities,

according to national practice, as to the authenticity of the end user (the certifjcation must include the date, name, title and original signature of authorizing offjcial);

OSCE – WA Standard Elements -

continued

The OSCE asks that the receiving State should verify the end use of the arms (e.g. by requiring the fjnal consignee to provide the exporter with a delivery verifjcation certifjcate once the export has reached the fjnal destination or by conducting on-site inspections) The inclusion of a clause on post-shipment control in the end-user certifjcate is deemed optional e.g. Finland, Norway, Romania, Sweden and Switzerland require it in their end-use/user certifjcates “Optional requirements” contained in the Wassenaar list are:

(a)

certifjcation that the goods will be installed at the premises of the end user or will be used only by the end user;

(b)

agreement by the importer/end user to allow on-site verifjcation;

(c)

an undertaking from the importer/end user not to divert or relocate the goods covered by the end-use certifjcate/

Delivery Verifjcation and On-site Inspections

u A detailed description of the arms, their types and quantities

and values;

u The end use(s) and the location where the items shall or shall

not be used;

u The name(s) and address(es) and signatures of the immediate

consignees or purchaser and of the end-user(s) and the country of fjnal destination;

u The contract of sale number, date and names/addresses of

parties involved;

u An undertaking that the items will not be used for purposes

• ther than those declared, or by end users other than those

declared;

u The date of issue, register/serial number and the duration of

the certifjcate.

u Assurances by the end user that the re-export of imported

arms will either not be permitted, or can take place only after

Elements found in most EUCs in the sample studied

u only two States in the sample, Azerbaijan and Romania,

appear to include expiry dates as a routine element in their end-use/user certifjcates, both limiting their end-use/ user certifjcates to six months only.

u the details of the end user (e.g Switzerland only requires a

letterhead)

u details of the exporter (e.g. Italy only requires the name of

the applicant)

u description of the end use (e.g. Australia, Italy, Portugal,

Sweden and the United States do not include this aspect)

u the assurance about end use (e.g. Australia, Hungary, Italy,

and Singapore do not include this aspect)

u Some States only require the name of the exporter and/or the

name of the end user (e.g. Finland, France, Norway, Romania, Sweden, Switzerland and the United States), while the majority of other States demand the full street address.

Variations found in Document Design

u End use/user documents should bear a unique serial number.

Letterhead of company used for an end user statement must fjrst be certifjed by a designated agency of the importing State.

u The number of offjcials and institutions authorized to stamp

• r sign such documents should be kept to a minimum,

preferably one national offjce with comprehensive registry.

u End use/user documents should only be valid for a specifjed

period, preferably one year, and only used once for the items

• specifjed. Upon expiry, a new end use/user document should

be requested.

u For low risk items and destinations, the exporting State can

decide to pass the authority for re-export to the importing State.

u For higher risk, States may require an undertaking that the

goods will be installed at the premises of the end-user or will

Safeguards in End Use Documents

The designated exporting State authority should carefully check/cross check:

u The authenticity of the end use/user document itself and

also verify the details are accurate

u If the import is supported by the designated importing State

authority before authorizing the export

u The certifjcation stamp/seal, number and signatures of

names, addresses of certifjcation/Apostille or government agency

u The accuracy of name, address, legal status and reliability of

end user and other parties involved

u That the stated end use is legal and authorized u The information pertaining to the arms on the EUC

corresponds with the order/s from the purchaser / importer regarding the specifjc transaction

Authentication and Verifjcation